NIO SEC Filing News — NIO Inc.

Latest SEC filings for NIO Inc. (NIO) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-14.

NIO Inc. designs, develops, manufactures, and sells smart electric vehicles in China, Europe, and internationally. It offers five and six-seater electric SUVs, as well as smart electric sedans. The company also offers power solutions, including Power Home, a home charging solution; Power Swap, a battery-swapping service; Power Charger and Destination Charger; Power Mobile, a mobile charging service through charging vans; Power Map, an application that provides access to a network of public charg…
Sector: Consumer Cyclical Industry: Auto Manufacturers Market Cap: $8.6B CIK: 1736541
12
Total Filings
0
Bullish Classifications
0
Bearish Classifications
7
Insider Transactions
0
Material Events (8-K)
0
Periodic Reports
What you're looking at: Each item below is parsed from an actual SEC filing submitted by NIO Inc.. Form 4 = confirmed insider transaction · Form 144 = proposed sale notice · 8-K = material event (earnings, M&A, leadership change, etc.) · 10-Q / 10-K = quarterly / annual report.
NIO Filing Activity Snapshot 2026-06-01 — 2026-09-14
Insider Transactions (Form 4)
0 buys vs 0 sells
Insider buying and selling activity is balanced in this period.
Largest Form 144 Filing
$840.0K
Lihong Qin · 2026-06-01
150,000 shares · Form 144
Form 144 Notices
5
Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.
Insider Transactions 7 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 7 filings in this group are Form 4s for NIO Inc.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 7 insider filings shown, the breakdown is 7 option exercise. None of the classified filings involved a discretionary open-market trade, so this period says nothing about what insiders think of the price.

What each transaction type means

Option exercise ×7
The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.
Form 4 Option exercise Tax / Compensation Filing 2026-09-14

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Lee Denny Ting Bun (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 131,869 — —
M Option exercise derivative · Restricted share units 131,869 — —
Filing: Form 4 (Insider Transaction) Insider: Lee Denny Ting Bun (Director) Shares: 131,869
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-09-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Qin Lihong (Director, President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 300,000 — —
F Tax withholding on vested shares 150,000 $4.23 $634.5K
M Option exercise derivative · Restricted share units 300,000 — —
Filing: Form 4 (Insider Transaction) Insider: Qin Lihong (Director, President) Shares: 450,000
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-09-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Zhou Xin (Executive Vice President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 200,000 — —
M Option exercise derivative · Restricted share units 200,000 — —
Filing: Form 4 (Insider Transaction) Insider: Zhou Xin (Executive Vice President) Shares: 200,000
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-09-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Qu Yu (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 45,000 — —
M Option exercise 200,000 — —
F Tax withholding on vested shares 22,500 $4.23 $95.2K
F Tax withholding on vested shares 100,000 $4.23 $423.0K
M Option exercise derivative · Restricted share units 45,000 — —
M Option exercise derivative · Restricted share units 200,000 — —
Filing: Form 4 (Insider Transaction) Insider: Qu Yu (Chief Financial Officer) Shares: 367,500
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-06-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Qin Lihong (Director, President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 300,000 — —
F Tax withholding on vested shares 150,000 $5.60 $840.0K
M Option exercise derivative · Restricted share units 300,000 — —
Filing: Form 4 (Insider Transaction) Insider: Qin Lihong (Director, President) Shares: 450,000
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-06-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Zhou Xin (Executive Vice President) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 200,000 — —
F Tax withholding on vested shares 100,000 $5.60 $560.0K
M Option exercise derivative · Restricted share units 200,000 — —
Filing: Form 4 (Insider Transaction) Insider: Zhou Xin (Executive Vice President) Shares: 300,000
View on SEC EDGAR → Open Filing Document →
Form 4 Option exercise Tax / Compensation Filing 2026-06-01

NIO insider Form 4 filed for equity award, exercise, or tax withholding

Qu Yu (Chief Financial Officer) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The insider converted options into shares. The exercise price was fixed when the options were granted, so the timing usually tracks an expiry schedule.

Transactions reported on this filing
Code Nature Shares Price Value
M Option exercise 200,000 — —
F Tax withholding on vested shares 100,000 $5.60 $560.0K
M Option exercise derivative · Restricted share units 200,000 — —
Filing: Form 4 (Insider Transaction) Insider: Qu Yu (Chief Financial Officer) Shares: 300,000
View on SEC EDGAR → Open Filing Document →
Proposed Insider Sales 5 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. NIO Inc. has 5 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-09-01

NIO Form 144 filed for proposed insider sale by Lihong Qin (150,000 shares) ~$634.5K

Lihong Qin filed a Form 144 with the SEC indicating intent to sell NIO (NIO Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Lihong Qin Shares: 150,000 Est. Value: $634.5K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-09-01

NIO Form 144 filed for proposed insider sale by Yu Qu (122,500 shares) ~$518.2K

Yu Qu filed a Form 144 with the SEC indicating intent to sell NIO (NIO Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Yu Qu Shares: 122,500 Est. Value: $518.2K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-06-01

NIO Form 144 filed for proposed insider sale by Lihong Qin (150,000 shares) ~$840.0K

Lihong Qin filed a Form 144 with the SEC indicating intent to sell NIO (NIO Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Lihong Qin Shares: 150,000 Est. Value: $840.0K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-06-01

NIO Form 144 filed for proposed insider sale by Xin Zhou (100,000 shares) ~$560.0K

Xin Zhou filed a Form 144 with the SEC indicating intent to sell NIO (NIO Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Xin Zhou Shares: 100,000 Est. Value: $560.0K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-06-01

NIO Form 144 filed for proposed insider sale by Yu Qu (100,000 shares) ~$560.0K

Yu Qu filed a Form 144 with the SEC indicating intent to sell NIO (NIO Inc.) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: Yu Qu Shares: 100,000 Est. Value: $560.0K
View on SEC EDGAR → Open Filing Document →

How we classify NIO Inc.'s filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on NIO. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — NIO SEC Filings

What SEC filings does NIO Inc. submit to the SEC?

NIO Inc. (NIO) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about NIO?

A Form 4 for NIO discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from NIO Inc.?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for NIO?

The 10-K is NIO Inc.'s annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all NIO SEC filings directly on EDGAR?

You can view all historical NIO Inc. filings on the SEC EDGAR company page for NIO. Each filing card on this page links directly to the original SEC document.

How often does NIO Inc. file with the SEC?

NIO Inc. files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling NIO shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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